EC
Ernest E. Cunningham
KEY INVESTMENT SERVICES LLC
Erie, PA 16509
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CRD#: 6115836
EC
Professional summary
Ernest E Cunningham III, who also goes by Ernest E Cunningham III, Ernest E Cunningham, Ernest Eugene Cunningham III, Ernest Cunningham Iii, Ernest Cunningham, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Erie, Pennsylvania.
Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Ernest has worked at 6 firms and has passed the Series 66, Series 65, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ernest E Cunningham Iii | Ernest E Cunningham | Ernest Eugene Cunningham Iii | Ernest Cunningham Iii | Ernest Cunningham
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) OHSAA UMPIRE ASSOCIATION- POSITION: null NATURE: Ohio High School Athletic Association INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2024. ADDRESS: 4080 Roselea Place, Columbus OH 43214, United States. DESCRIPTION: Umpiring / Refereeing athletics on evenings and weekends. 2.) JERNY HOMES. LLC.-POSITION: null NATURE: Real Estate Holding company used for the purpose of owning and repairing rental properties. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2017 ADDRESS: 2813 Bushnell Campbell Rd, Fowler OH 44418, United States. DESCRIPTION: I purchase properties and control the rehabilitation process.
CRS (Client Relationship Summary) - RIA
Click below to view Ernest E Cunningham III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ernest E Cunningham III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 13, 2025 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 1468 West Gore Rd, Erie, PA 16509RIA
BD
CRD#: 136300
Erie, PA
Current
June 4, 2025 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 1468 West Gore Rd, Erie, PA 16509RIA
BD
CRD#: 136300
Erie, PA
Past
April 28, 2023 - March 27, 2025
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
Fowler, OH
Past
April 18, 2023 - March 27, 2025
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
Fowler, OH
Past
May 26, 2021 - April 10, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CORTLAND, OH
Past
May 24, 2021 - April 10, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CORTLAND, OH
Past
January 26, 2020 - May 17, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WARREN, OH
Past
January 24, 2020 - May 17, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
Warren, OH
Past
February 12, 2018 - January 27, 2020
EDWARD JONES
RIA
CRD#: 250
WARREN, OH
Past
January 18, 2018 - January 27, 2020
EDWARD JONES
BD
CRD#: 250
WARREN, OH
Past
October 21, 2013 - December 31, 2015
EUGENE BRYDON FINANCIAL SERVICES
RIA
CRD#: 169312
FOWLER, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KI
KEY INVESTMENT SERVICES LLC
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
RIA
Registered Investment Advisory firm - SEC (1/3/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Ohio(6/13/2025)
RR
Ohio(6/17/2025)
RR
Pennsylvania(6/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 3/15/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KI
KEY INVESTMENT SERVICES LLC
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
RIA
Registered Investment Advisory firm - SEC (1/3/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
4900 Tiedeman Road Oh-01-49-0215, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road Oh-01-49-0215, Brooklyn, OH 44144
Phone number
(888) 547-2968
Established
Ohio since 06/08/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,131
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEYBANC CAPITAL MARKETS INC. | SOLE OWNER | 566 |
| CALABRESE, GIUSEPPE NMN | CO-CEO/PRESIDENT | 5013231 |
| DOUCE, MARK IVAN | CHIEF COMPLIANCE OFFICER | 2959137 |
| GULLA, MATTHEW TODD | CHIEF ADMINISTRATIVE OFFICER | 3040637 |
| HOTZ, BURTON BRUCE NICHOLAS | CHIEF RISK OFFICER | 3025138 |
| JANOFSKY, PAULA MARIE | OPERATIONS OFFICER | 2882776 |
| KOVACHICK, MARK ALLAN | CHIEF FINANCIAL OFFICER/DIRECTOR | 5390571 |
| SCHMIDT, SOLOMON LEE | CO-CEO/PRESIDENT | 4404279 |
| SKARDA, JOSEPH BRIEL | HEAD OF KEY WEALTH MANAGEMENT | 4288186 |
| THEBERGE, JONATHAN MARC | CHIEF OPERATIONS OFFICER | 7722891 |
| WEICK, PAUL ALFRED II | CHIEF LEGAL OFFICER | 2286289 |
Regulatory assets under management
| Total Number of Accounts | 27,533 |
| AUM (Assets Under Management) | $ 6,107,213,206 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
